Andrew Barry Grossman

Employer firm

B. Riley Wealth Advisors, Inc. CRD 115927

$4.21B regulatory AUM 40 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

B. Riley Wealth Advisors, Inc.

40 S. Main St. Suite 1600, Memphis, TN 38103 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-10-18
NY	RA	APPROVED	2021-06-23

TX RA
APPROVED_RES

Since 2021-10-18
NY RA
APPROVED

Since 2021-06-23

Branch Locations

255 Executive Drive Suite 203, Plainview, NY 11803 • United States

Melville, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
National Securities Corp	Plainview	NY	06/2015	07/2022
B. Riley Wealth Advisors	Plainview	NY	03/2017	Present
B. Riley Wealth Management	Plainview	NY	07/2022	Present

06/2015 → 07/2022

National Securities Corp

Plainview, NY
03/2017 → Present

B. Riley Wealth Advisors

Plainview, NY
07/2022 → Present

B. Riley Wealth Management

Plainview, NY

Other Businesses

(1) NORTH SHORE WEALTH MANAGEMENT, LLC; INVESTMENT-RELATED; 225 EXECUTIVE DR STE 305 PLAINVIEW NY 11803; DBA FOR FINANCIAL SECURITIES BUSINESS CONDUCTED THROUGH B. RILEY WEALTH MANAGEMENT; START DATE 2007. 40 HOURS / WEEK DEVOTED DURING SECURITIES TRADING HOURS. (2) B. RILEY WEALTH INSURANCE ; INVESTMENT-RELATED; 225 EXECUTIVE DR STE 305 PLAINVIEW NY 11803; INSURANCE SALES; AGENT; START DATE 2022; 5 HOURS/WEEK DEVOTED DURING SECURITIES TRADING HOURS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-03-11
S63	Uniform Securities Agent State Law Examination	1985-05-01

S65 Uniform Investment Adviser Law Examination

2017-03-11
S63 Uniform Securities Agent State Law Examination

1985-05-01

Other Names

Andrew Barry Grossman

View on SEC IAPD